RBC Capital Markets Corporation | investor protection violation | 2008 | MULTI-AG | $859,800,000 |
City National Bank | banking violation | 2024 | OCC | $65,000,000 |
Royal Bank of Canada | investor protection violation | 2014 | CFTC | $35,000,000 |
City National Bank | discriminatory practices (non-employment) | 2023 | DOJ_RIGHTS | $31,000,000 |
RBC Capital Markets LLC | investor protection violation | 2011 | SEC | $30,400,000 |
Royal Bank of Canada | price-fixing or anti-competitive practices | 2023 | private lawsuit-federal | $25,250,000 |
RBC Capital Markets LLC | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $15,500,000 |
Dain Rauscher Incorporated | investor protection violation | 2000 | SEC | $12,941,191 |
RBC Capital Markets, LLC | investor protection violation | 2019 | SEC | $11,715,395 |
RBC Mortgage Company | False Claims Act and related | 2008 | DOJ_CIVIL | $10,710,000 |
RBC Capital Markets Corporation | investor protection violation | 2008 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $9,800,000 |
Royal Bank of Canada | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $8,000,000 |
Royal Bank of Canada | accounting fraud or deficiencies | 2023 | SEC | $6,000,000 |
RBC Capital Markets, LLC | investor protection violation | 2019 | CFTC | $5,000,000 |
RBC Capital Markets LLC | investor protection violation | 2020 | SEC | $3,889,007 |
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | investor protection violation | 2016 | FINRA | $3,500,000 |
RBC Capital Markets, LLC | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
RBC Capital Markets LLC | investor protection violation | 2016 | SEC | $2,500,000 |
RBC Capital Markets Corporation | investor protection violation | 2005 | FINRA | $2,108,000 |
RBC Dain Rauscher, Inc. | investor protection violation | 2005 | FINRA | $1,700,000 |
RBC Dain Rauscher Inc | investor protection violation | 2006 | SEC | $1,500,000 |
RBC Capital Markets | investor protection violation | 2015 | FINRA | $1,434,000 |
RBC Dain Rauscher, Inc. | investor protection violation | 2005 | FINRA | $1,158,000 |
RBC Capital Markets LLC | investor protection violation | 2021 | SEC | $863,326 |
Ferris, Baker Watts, Inc. | investor protection violation | 2009 | SEC | $800,656 |
City National Bank | banking violation | 2005 | OCC | $750,000 |
Ferris, Baker Watts LLC | investor protection violation | 2010 | FINRA | $690,000 |
RBC Capital Markets, LLC | investor protection violation | 2015 | SEC | $500,000 |
RBC Dain Rauscher Incorporated | investor protection violation | 2002 | SEC | $500,000 |
RBC Capital Markets, LLC | investor protection violation | 2013 | NJ-AG | $450,000 |
RBC Capital Markets Corporation | investor protection violation | 2009 | FINRA | $400,000 |
RBC Capital Markets, LLC | investor protection violation | 2012 | MA-SEC | $250,000 |
RBC Dain Rauscher Inc. | investor protection violation | 2006 | FINRA | $250,000 |
RBC Capital Markets, LLC | investor protection violation | 2012 | MT-FIN | $186,439 |
Royal Bank of Canada | price-fixing or anti-competitive practices | 2013 | WV-AG | $175,000 |
RBC Capital Markets Corp. | investor protection violation | 2008 | FINRA | $150,000 |
RBC Dain Rauscher, Inc. | investor protection violation | 2004 | FINRA | $150,000 |
RBC Capital Markets Corporation | investor protection violation | 2010 | FINRA | $135,000 |
RBC Capital Markets Corporation | investor protection violation | 2009 | SEC | $125,000 |
RBC Capital Markets Corp. | investor protection violation | 2010 | NJ-AG | $51,724 |
RBC Capital Markets, LLC | investor protection violation | 2013 | AK-DBS | $44,370 |
RBC Capital Markets, LLC | investor protection violation | 2013 | CA-DFPI | $33,520 |
Royal Bank of Canada | investor protection violation | 2009 | DE-AG | $22,156 |
RBC Capital Markets, LLC | investor protection violation | 2023 | VA-SEC | $11,000 |
RBC Capital Markets, LLC | investor protection violation | 2021 | VA-SEC | $10,000 |
Royal Bank of Canada (USA) | water pollution violation | 2010 | GA-ENV | $9,375 |
City National Bank | banking violation | 2010 | OCC | $5,250 |